Quality Management in Education. Self-evaluation for quality improvement

Quality Management in Education Self-evaluation for quality improvement

Quality Management in Education Self-evaluation for quality improvement HM Inspectorate of Education 2006

Crown copyright 2006 ISBN: 0 7053 1087 6 HM Inspectorate of Education Denholm House Almondvale Business Park Almondvale Way Livingston EH54 6GA Tel: 01506 600 200 Fax: 01506 600 337 E-mail: enquiries@hmie.gov.uk Produced for HMIE by Astron B45597 04/06 Published by HMIE, April 2006 This material may be copied without further permission by education authorities and education institutions in Scotland for use in self-evaluation and planning. The report may be produced in part, except for commercial purposes, or in connection with a prospectus or advertisement, provided that the source and date therefore are stated.

ii_iii Contents Foreword Acknowledgements iv vi Introduction 1 Part 1 Self-evaluation in the local authority context 3 Part 2 The framework for self-evaluation explained 7 Part 3 The six-point scale 14 Part 4 Performance and quality indicators 16 Part 5 Indicators, themes and illustrations 22 Part 6 Using performance and quality indicators for self-evaluation 77 Part 7 Self-evaluation questions and sources of evidence 86 Appendix I The relationships between Quality Management in Education 2 and other quality frameworks. 104

QUALITY MANAGEMENT IN EDUCATION 2 SELF-EVALUATION FOR QUALITY IMPROVEMENT Foreword Quality Management in Education (QMIE), published by Her Majesty s Inspectorate of Education (HMIE) in 2000, set out a framework for self-evaluation of the performance of education authorities in Scotland. It also provided the basis for the first cycle of external scrutiny by HMIE, namely the Inspection of the Education Functions of Local Authorities (INEA). All 32 Scottish education authorities have now been subject to external scrutiny through the first cycle of INEA inspections. After a period of consultation involving education authority representatives, partner organisations and other key stakeholders, a revised evaluative framework has been designed as a support pack for authorities. Quality Management in Education 2 (QMIE2), has been developed in partnership with key agencies and is designed to assist local authorities, together with their main stakeholders, to develop and implement a rigorous and systematic approach to the self-evaluation of their education functions. The emphasis within the publication is very clearly on the importance of the self-evaluation process and the role it plays in driving continuous improvement. Both self-evaluation and inspection processes will be guided by the revised framework. The second cycle of the statutory Inspections of the Education Functions of Local Authorities (INEA2) commenced in June 2005 with pilot inspections of two authorities. Inspection will take a more proportionate approach. The scoping of inspections will be intelligence led and risk based. Existing sources of evidence such as HMIE reports on schools and community learning and development (CLD) provision, and reports by other agencies, such as Audit Scotland and the Care Commission, will inform the depth and breadth of inspections. We have come a long way since the inception of QMIE and INEA. The cyclical process of self-evaluation is becoming increasingly well embedded across the Scottish educational landscape, as a means of improving performance and raising attainment and achievement for all learners. Indeed, there is now a clear expectation by HMIE that self-evaluation will have been developed and established across all schools, establishments, services and authorities. A number of self-evaluation and external scrutiny models have been developed in recent years, including those which pertain to schools, community learning and development and child protection. HMIE is acutely aware of the need for these to fit together in a coherent way. This document represents a unified framework which, through self-evaluation and external scrutiny, evaluates performance against a common set of six high-level questions. These questions will form the basis for all INEA2 inspections and, importantly, similar questions will form the basis for other inspections which relate to services for children and young people. They are: What key outcomes have we achieved? How well do we meet the needs of our stakeholders? How good is our delivery of education processes? How good is our management? How good is our leadership? What is our capacity for improvement?

iv_v In recent years, many initiatives have been undertaken to improve the quality of the services we provide for children, young people, their families and adult learners. For Scotland s Children brought into sharp focus the need to put children and families at the centre of the public service network and, crucially, to provide better integration of services at the point of delivery. These principles must therefore apply also to the complementary processes of self-evaluation and external scrutiny. It is against this backdrop that the HMIE Services for Children Unit embarked upon a consultation exercise in October 2005 on A Common Approach to Inspecting Services for Children and Young People, which proposes that a coherent, intelligence-led system for inspection of services for children and young people should be in place by 2008. The development of this QMIE2 support pack and of the associated INEA2 arrangements has been guided by the need for a coherent approach to self-evaluation and inspection. It is also recognised that an increasing number of education authorities and, specifically, former Directors of Education who now have responsibility for a much wider range of services, including Social Services, Community Learning and Development, Sport, Leisure, Arts, Culture, Libraries, Museums and Housing Services, further underlining the need for an integrated approach to monitoring and evaluation. One further and very important difference in the approach to self-evaluation through QMIE2, is the much clearer focus on impact and outcomes. Self-evaluation should lead to the maintenance of high standards, to further improvement in performance, to targeted action on areas needing to be improved and to continuous improvement in the pursuit of excellence. It is only by rigorous examination of impact, and of outcomes for children, young people, their families, adult learners and communities that the effectiveness of the education functions of councils can be thoroughly and comprehensively evaluated. I commend this support pack to all authorities and their key partners in their pursuit of continuous improvement through the process of self-evaluation. GRAHAM DONALDSON HM Senior Chief Inspector

QUALITY MANAGEMENT IN EDUCATION 2 SELF-EVALUATION FOR QUALITY IMPROVEMENT Acknowledgements This support pack has been the product of consultation and partnership working involving a wide range of organisations and individuals. The development of the document was undertaken through a consultation group which included senior staff in Perth and Kinross, East Ayrshire, South Ayrshire, East Dunbartonshire and North Ayrshire Councils as well as representatives from Audit Scotland and NHS Scotland. Particular thanks are due to Ian McMurdo and Stewart Jardine who acted as consultants to the project. Production of the pack was assisted further by feedback from a number of education authority staff and partner agencies. Thanks are due to colleagues who gave of their time in reading and responding to successive drafts of this document. The compilation of material for this document involved the identification of good practice within existing systems of monitoring and evaluation, including those in other public authorities and in the private and commercial sector. In this context, the work of the European Foundation for Quality Management (EFQM), Charter Mark and Investors in People (IiP) is acknowledged.

vi_1 Introduction This publication has been designed to assist local authorities, together with their partner agencies, in developing and implementing a systematic approach to the self-evaluation of their education functions. The publication provides practical assistance and advice on the process of self-evaluation at both strategic and operational levels. It focuses on the role of self-evaluation in developing a council s capacity to drive continuous improvement and, most importantly, to secure and demonstrate measurable improvement in the quality of learners educational experience. The clear focus is on impact and outcomes. The self-evaluation support materials are also provided as an online resource. This will assist authorities in amending or augmenting the materials to suit local needs, priorities and circumstances. Authorities approaches to self-evaluation will build on existing good practice. The publication also includes the performance and quality indicators, measures and themes which will provide the basis for external inspection of the education functions of councils in this second cycle of statutory inspections. Each authority will be able, through its own self-evaluation arrangements, to gather management information and evidence that enable it to judge the effectiveness of its performance against six high-level questions, which will also form the basis for inspections of the education functions of councils by HMIE. These are: What key outcomes have we achieved? How well do we meet the needs of our stakeholders? How good is our delivery of education processes? How good is our management? How good is our leadership? What is our capacity for improvement? Each of these high-level questions can be answered by evaluating the quality of education across ten Key Areas. At the centre of this framework are key performance outcomes and the impact provision is having on service users, the community and staff. Inputs, such as leadership and management, support the effectiveness of education processes and together help us to arrive at an overall evaluation of the council s capacity for improvement. The framework is summarised in figure one on the next page. This guide aims to provide support for authorities in carrying out the process of self-evaluation through which they can: achieve the best outcomes for all learners; take action to sustain quality, improve services and achieve excellence; meet the responsibilities set out in the relevant legislation; and meet the requirements of Best Value and Efficient Government.

What key outcomes have we achieved? How well do we meet the needs of our stakeholders? QUALITY MANAGEMENT IN EDUCATION 2 SELF-EVALUATION FOR QUALITY IMPROVEMENT The use of performance and quality indicators, for both self-evaluation and external inspection, promotes consistency. Although these two processes may differ in terms of purpose and audience, their language and basis should be the same, enabling open and honest dialogue and consistency across different evaluations. FIGURE 1 THE OVERARCHING QMIE2 FRAMEWORK What is our capacity for improvement? Delivery of education processes How good is our delivery of education processes? Leadership Key performance outcomes Impact on the community Impact on staff Impact on service users Policy development and planning How good is our management? Management and support of staff Partnerships and Resources How good is our leadership?

Part 1 - Self-Evaluation in the local authority context 1 2_3 The Standards in Scotland s Schools Etc. Act 2000 provides a framework for improvement planning that requires education authorities to set out and report on improvement objectives related to national priorities and associated measures of performance. Continuous improvement in education services is central to the work of education authorities. There is a clear expectation by Scottish Ministers that national priorities will be addressed through agreed local education improvement objectives and related targets. To achieve these goals, it is essential for authorities, community services and establishments to work together to achieve these objectives and to raise standards of attainment and achievement within an innovative culture of support and challenge. The process of self-evaluation should, as a matter of course, generate key management information which results in an evaluation of overall quality and improvement. This evaluation can then be used to create a set of agreed, targeted action points which, in turn, drive further improvement. The process of self-evaluation is central to the maintenance of quality and the pursuit of excellence. It has become firmly established as the basis on which improvement planning and public reporting on standards and quality are founded. Self-evaluation is complementary to external inspection. Indeed the latter now builds on the results and evidence of self-evaluation across the organisation. Self-evaluation, to be fully effective, is not designed to be a single or periodic event, but rather is an ongoing process which permeates the culture of the council as it strives to maintain and enhance the quality of provision. It is a well-focused means to an end rather than an end in itself. The concept of self-evaluation is now well embedded across the Scottish educational landscape. In the best examples, it leads to the identification of main strengths and areas in which performance needs to be improved in the pursuit of excellence. The evaluations derived through the self-evaluation process should enable the authority to establish how it is performing against its education improvement objectives, and to plan the next steps in development, in order to maintain quality, secure continuous improvement and aspire to excellence. There are four main sources of evidence, from which evaluations can be made. These are: performance data; relevant documentation; stakeholders views and feedback; and direct observation of practice. These sources of evidence are complementary. No single source can meaningfully provide sufficient evidence on its own to enable a reliable or robust evaluation to be made. The process also involves key stakeholders in full and meaningful discussion of the issues.

QUALITY MANAGEMENT IN EDUCATION 2 SELF-EVALUATION FOR QUALITY IMPROVEMENT Each authority aims to develop a clear picture of its main stakeholders and a protocol for engaging them in ongoing, focused discussion regarding its performance in key areas. Evidence shows that there is a strong link between effective leadership and management, robust self-evaluation, and development of the capacity for further improvement. To be effective, self-evaluation will: be embedded in the culture of the organisation; be rigorous, comprehensive, systematic and transparent; be focused on identifying strengths and weaknesses or areas for improvement; be based on a wide range of evidence; involve a wide range of stakeholders; lead to targeted action and improvement; be recorded and reported; and be a continuous, systematic process as opposed to an event. QMIE, which is now being replaced by QMIE2, has become widely accepted by Scottish councils as a manageable self-evaluation framework. It relates closely to the wide range of functions undertaken and services provided by authorities. Self-evaluation, inspection and Best Value The principles of Best Value and a commitment to delivering better public services year on year are now embedded securely within the arrangements for local government in Scotland. The Local Government in Scotland Act 2003 provides the statutory framework for Best Value and outlines the duties that are placed on local authorities to secure continuous improvement in the performance of their functions. In delivering better public services year on year, local authorities are expected to demonstrate: accountability; transparency; continuous improvement; and ownership. Scottish Ministers have set out a vision of how Best Value should contribute to the corporate goals of local authorities. There is a clear commitment to the highest standards of public probity and responsiveness to the needs of customers, employees and all other stakeholders. In the case of the education and CLD functions of authorities, this responsiveness clearly extends to children, to all other learners and participants and to parents and families. The importance of consultation arrangements, which are open, fair and inclusive, cannot be overstated.

1 4_5 The core Best Value characteristics are now well recognised: commitment and leadership; responsiveness and consultation; sound governance at a strategic, financial and operational level; sound management of resources; use of review and options appraisal; competitiveness, trading and the discharge of authority functions; sustainable development; equal opportunities arrangements; joint working; and accountability. Authorities are expected to operate a framework for planning and budgeting that takes account of national and local priorities and includes detailed and realistic plans linked to available resources. This means making the best use of all public resources including employees, contractual agreements, electronic communications, management information systems, land and property services and sound financial systems. Effective performance management systems, which incorporate the use of external comparisons and benchmarking, play a critical role in maximising the use of public resources. Best Value also demands a comprehensive approach to service review that is rigorous and robust. It assumes that all services will be subjected routinely to rigorous scrutiny and competition. In the education and CLD services, such benefits would, in addition to maximising the effectiveness and efficiency of resource usage, extend to the achievement of continuous improvement in the quality of teaching and learning and to improving achievement, attainment and other relevant outcome measures for children and adult learners. Services should be reviewed by using the process of the 4 Cs: Challenge Consult Compare Compete. Each council s approach to Best Value should make a telling contribution to sustainable development in its widest sense, in terms of the social, economic and environmental impact of activities. Essentially, the pursuance of Best Value should lead to the development of a culture which encourages rigorous self-evaluation leading to improving services, and to equality of opportunity through joint/partnership working and corporate service delivery.

QUALITY MANAGEMENT IN EDUCATION 2 SELF-EVALUATION FOR QUALITY IMPROVEMENT For some time now, authorities have been required to have a Performance Management and Planning (PMP) framework which includes Public Performance Reporting (PPR) to account for performance to stakeholders, and to increase public accountability. The framework of this publication and the indicators themselves deliberately and explicitly reflect the principles, expectations and processes of Best Value. The concept of Best Value is based on the principles of self-evaluation. This publication provides a Best Value self-evaluation structure for education authorities. The Scottish Executive Best Value Task Group advised that self-evaluation should be backed up by external scrutiny. It is against this backdrop that authorities should view the process of external inspection of their education functions under the Standards in Scotland s Schools Etc. Act 2000 as the formal moderation of their own self-evaluation and the major contribution to Best Value external scrutiny. The Accounts Commission for Scotland also has a statutory responsibility to secure the audit of local authorities and to achieve the highest standards of financial stewardship and the efficient and effective use of their resources within a Best Value context. The external auditor, once appointed by the Commission, also has separate statutory responsibilities. Their audit framework is based closely on the PMP framework set out by the Best Value Task Group. The PMP audit includes scrutiny of the council s Best Value service reviews and its approach to PPR. HMIE and Audit Scotland (on behalf of the Accounts Commission) have designed and developed a partnership approach to scrutiny, based on the use of the evaluative framework. An inspection of the education functions of councils will cover the requirements of education legislation and the Accounts Commission s statutory external scrutiny of PMP and PPR. Any additional work carried out by the external auditor will feed into the inspection and PMP scrutiny model. In summary, there will continue to be a comprehensive and increasingly unified structure for self-evaluation and external scrutiny of the education functions of councils.

Part 2 - The framework for self-evaluation explained 2 6_7 Structure The framework for self-evaluation described in this section (and summarised in Figure 2 on page 13) provides a systematic approach for councils to use for self-evaluation. The framework does not assume a particular organisational structure within the council. It can be applied whether responsibility for all education functions is located within a single department or is distributed across a number of different council departments. The framework has been developed in accordance with the principles of the Excellence Model of the EFQM and can be used in conjunction with other quality models such as IiP, Charter Mark and ISO 9000. See Appendix I. Evidence produced through the use of other models can contribute to overall evaluations. The framework is based on six high-level questions which can be answered by evaluating the quality of education systematically across ten Key Areas. What key outcomes have we achieved? Key Area 1. Key performance outcomes How well do we meet the needs of our stakeholders? Key Area 2. Key Area 3. Key Area 4. Impact on service users Impact on staff Impact on the community How good is our delivery of education processes? Key Area 5. Delivery of education processes How good is our management? Key Area 6. Key Area 7. Key Area 8. Policy development and planning Management and support of staff Partnerships and resources How good is our leadership? Key Area 9. Leadership What is our capacity for improvement? Key Area 10. Capacity for improvement The inputs and processes outlined in Key Areas 5-9 contribute to the outcomes and impact identified in Key Areas 1-4. Key Areas 1-9 contain indicators and measures, each with themes which focus on specific aspects of the service being evaluated.

QUALITY MANAGEMENT IN EDUCATION 2 SELF-EVALUATION FOR QUALITY IMPROVEMENT Key Area 10 provides guidance which can be used to evaluate the degree of confidence reached by those carrying out the evaluation that the council has the capacity to continue to improve. This evaluation will take into account the evaluations of other Key Areas, its track record in improvements to date and significant aspects of its internal and external contexts. Using the framework in self-evaluation Councils can use the framework to provide a systematic structure for self-evaluation. They can also use the framework as a diagnostic tool. By looking first at the outcomes and impact of the education they provide (Key Areas 1-4), they can identify key issues for further exploration, observation and analysis using the tools provided within Key Areas 5-9. Finally, councils are encouraged to arrive at an evaluation of their overall capacity for improvement, using the guidance in Key Area 10. Using the framework in inspection When engaging in inspection and reporting activities, HMIE will focus on specific Key Areas and indicators selected from the overall framework. Some of these Key Areas and indicators may be used across all or most councils, while others may be used only in particular contexts and will depend on the scope of the inspection. The scope of each inspection will be set using existing evaluations and evidence to determine what is already known about the council. It will build on the self-evaluation already carried out by authorities. The inspection team will always seek to answer the questions: What key outcomes has the service achieved? How well does it meet the needs of its stakeholders? How good is the leadership of the service? What is its capacity for improvement? Indicators drawn from the Key Areas relating to these questions will normally form the core of the set of indicators used during inspection. Beyond this, inspection activities might focus on specific Key Areas and indicators selected from the rest of the framework. The selection will depend on decisions taken during scoping activities and may be determined following evaluation using the core set of indicators. HMIE will use the guidance in Key Area 10 to arrive at an evaluation of an individual council s overall capacity for improvement.

2 8_9 Answering the high-level questions What key outcomes have we achieved? Key Area 1 focuses on the overall performance of a council in relation to its education functions. It provides a structure for councils to use when evaluating their success as organisations in delivering demonstrable outcomes as outlined in legislation and programmes for development. For example, these could include outcomes in delivering national priorities for education, improvements in attainment in 5-14 levels, Scottish Qualifications Authority (SQA) results or in achievement through The Duke of Edinburgh s Award, programmes accredited through the Award Scheme Development and Accreditation Network (ASDAN) or Young Quality Scot Awards. Also important are the improvements made in relation to a council s strategic priorities and distinctive vision, values, aims and targets. These targets will include locally determined targets for social, education, health and care objectives in the context of children s services and other plans. Evidence would appear in reports on strategic and operational plans and as observable improvements. In education, examples could include achievement of targets for participation in adult learning, cultural experiences, residential experiences and outdoor education. Evidence of demonstrable outcomes includes trends over time and other aggregated data which provide indications of the success of a council in improving the quality of the service it provides, both overall and in comparison with other councils. Key Area 1 also focuses on the extent to which councils fulfil their statutory duties, meet legislative requirements, follow appropriate codes of practice and are financially secure. Examples include legislation such as the Race Relations Amendment Act, the Disability Discrimination Act and the Local Government Scotland Act. Fulfilling these duties and following relevant codes of practice are key aspects of overall performance. How well do we meet the needs of our stakeholders? Key Areas 2, 3 and 4 focus on the impact on key groups of stakeholders of the council s delivery of education processes. In other words, these areas look at the benefits which stakeholders derive from the council s education services. Stakeholders include learners who are in direct receipt of the service together with those who support them and who also have a significant interest in the delivery of high-quality services, for example, parents and families. Stakeholders also include the staff within the council who receive care, support, training and opportunities for involvement in decision-making and career development. Their motivation and satisfaction is of considerable importance if the council is to operate effectively. Evaluations would draw upon the views of staff together with other information, such as rates of absence or retention. The quality of the care and support given to staff can be evaluated by considering evidence of teamworking, rates of involvement in professional development and achievement of qualifications and accreditation of the service as a whole by national schemes like IiP and Scotland s Health at Work (SHAW).

QUALITY MANAGEMENT IN EDUCATION 2 SELF-EVALUATION FOR QUALITY IMPROVEMENT Finally, stakeholders include members of the community. These stakeholders include those from the immediate local community on whose lives and experiences the service has a demonstrable impact. They also include the wider national and international community. The service may make a significant contribution to thinking and practice within a particular area of work. For example, staff may be actively involved in working groups, lead national initiatives and share innovative practice with others. Evidence of the council s impact beyond its immediate context may come from colleagues and peers, from published reports or from other media sources. When evaluating the impact of the council on the range of stakeholders, consideration should be given to the overall balance of strengths and weaknesses. Those carrying out the evaluation need to be alert to the possibility that in order to bring about improvements in one area of impact, the quality of service delivery in another area could diminish, with an overall detrimental effect on service to stakeholders. Evaluations of the quality of impact in these Key Areas will take into account direct observation and quantitative data together with evidence of stakeholders views, in order to arrive at overall judgements of the impact of the service on its key stakeholders. Where evidence from these sources is conflicting or indicates significant weaknesses, evaluators should follow audit trails to identify and address the possible causes, using indicators from other Key Areas in the quality framework. The focus of Key Areas 2, 3 and 4 will be on evaluating the impact on specific groups of learners and other stakeholders, and arriving at holistic evaluations of the overall impact on their experiences. There may be apparent discrepancies between the evaluations given within Key Area 1 and those given within Key Areas 2, 3 or 4. An improving authority may provide considerable evidence of impact on its stakeholders. Significant changes in measurable outcomes such as those included in Key Area 1, however, may take longer to become apparent. For example, young people may indicate through their views and behaviour, that they are learning more effectively. They may show increased motivation and less evidence of disaffection. It may take time, however, for improvements such as these to translate into increases in attainment levels or reductions in offending. In other words, there may be a time lag between improvements in terms of benefits for stakeholders and the overall measurable outcomes of the council. Evaluations of impact may therefore be noticeably more positive than evaluations of outcomes. The opposite may also be true. An organisation such as a high performing school might deliver and maintain very good examination results. However, the experiences of young people may be evaluated less highly. They may not receive sufficient stimulation or challenge or have poor relationships with their peers or with staff. They may have few opportunities for, or little commitment to independent learning. In such circumstances, overall outcomes may be very positive but evaluations of impact on learners less so.

2 10_11 How good is our delivery of education processes? Key Area 5 focuses on the work of the council in relation to its education functions. This relates to the quality of the curriculum, learning and teaching and relationships with stakeholders. For example, education and health might use the indicators to help them evaluate their processes for working together to reduce rates of teenage pregnancy, and for supporting young women who do become pregnant but wish to continue their education. Key Area 5 provides indicators for evaluating the quality of the authority s services and the extent to which these take account of the need to promote and ensure inclusion and equality. Key Area 5 also looks at the quality of the council s processes for improving its work and how well it works with its key stakeholders and partners to achieve this. Quality improvement should be built into the core work of the organisation, not be a bolt on. Evidence of the effectiveness of the authority s key processes will be seen in the impact they have on stakeholders and in its overall performance. How good is our management? Key Areas 6, 7 and 8 focus on the operational management activities necessary to ensure effective service delivery and to deliver Best Value. These activities include the council s arrangements for developing and updating policies, for involving its stakeholders, for operational planning, for managing staff, finance, information and resources and for developing productive partnerships. Strengths and weaknesses in these areas will normally affect the quality of the key processes delivered (Key Area 5), their impact on stakeholders (Key Areas 2, 3 and 4) and the performance of the council as a whole in relation to its education functions (Key Area 1). How good is our leadership? Key Area 9 focuses on the strategic direction of the council in relation to its education functions. It looks at its corporate purpose and the expression and delivery of its aspirations by means of strategic planning with partner agencies and the community. This Key Area considers the quality of leadership and direction at strategic level, and within teams and organisational units. It looks at the quality of interactions with people within the organisation and with partners in other agencies. It also focuses on the role of leaders in bringing about change and improvement, including innovation and, where necessary, step-change. Strengths and weaknesses in leadership will reflect the extent to which leaders make a difference to the quality of outcomes achieved by the authority as a whole and to the benefits derived by stakeholders. Evaluation will take account of the impact of leadership on the experiences of learners and other key stakeholders and the extent and quality of the outcomes demonstrated. The indicators in Key Area 9 should be capable of being applied at more than one level within the organisation. They could, for example, be applied to the work of the chief executive and elected members but also to the work of those who lead specific education departments, services or teams, including project teams and working groups.

QUALITY MANAGEMENT IN EDUCATION 2 SELF-EVALUATION FOR QUALITY IMPROVEMENT What is our capacity for improvement? Judgement of an organisation s capacity for improvement takes into account the evaluations arrived at in Key Areas 1-9, with particular reference to the quality of the leadership and management of the council and overall impact and outcomes. The council s focus on improvement and its track record in bringing about improvement are particularly important, as is the accuracy of its self-evaluation, which is used as the basis for planned improvements. The judgement also takes into account any significant aspects of the authority's internal or external context, for example, impending retirements of senior staff, plans to restructure or significant changes in funding. The judgement reviews the past, and looks forward to the future. Judgements of a council s capacity for improvement could be expressed in terms of a degree of confidence that it has the capacity to continue to improve. The judgement may be that the evaluators are confident that the council has the capacity to continue to improve. This judgement would be made when highly effective leadership and management have sustained high levels of quality and brought about major improvements to outcomes and impact on learners and other stakeholders. Evidence at the time would indicate that these improvements were sustainable and that improvement would continue. No significant changes in the internal or external context of the organisation would be apparent or predicted at the time the judgement was made. When there are reservations about one or more of these aspects, the use of other terminology would be more appropriate. For example, those carrying out the evaluation might have only limited confidence, or indeed, no confidence, that the council has the capacity to continue to improve. It would be important for evaluators to note the nature of their reservations, for example, by pointing to specific aspects of the council s work or its current or future context.

2 12_13 Figure 2 - The QMIE2 framework What key outcomes have we achieved? How well do we meet the needs of our stakeholders? How good is our delivery of education processes? How good is our management? How good is our leadership? 1. Key performance outcomes 1.1 Improvements in performance 1.2 Fulfilment of statutory duties What is our capacity for improvement? 2. Impact on service users 2.1 Impact on learners 2.2 Impact on parents/carers and families 3. Impact on staff 3.1 Impact on staff 5. Delivery of education processes 5.1 Delivering education services 5.2 Inclusion, equality and fairness 5.3 Improving the quality of services and establishments 6. Policy development and planning 6.1 Policy review and development 6.2 Participation of learners and other stakeholders 6.3 Operational planning 9. Leadership 9.1 Vision, values and aims 9.2 Leadership and direction 9.3 Developing people and partnerships 9.4 Leadership of change and improvement 10. Capacity for improvement Global judgement based on evidence of all key areas in particular, outcomes, impacts and leadership 4. Impact on the community 4.1 Impact on the local community 4.2 Impact on the wider community 7. Management and support of staff 7.1 Sufficiency, recruitment and retention 7.2 Deployment and teamwork 7.3 Development and support 8. Partnerships and resources 8.1 Partnership working 8.2 Financial management 8.3 Resource management 8.4 Information systems

QUALITY MANAGEMENT IN EDUCATION 2 SELF-EVALUATION FOR QUALITY IMPROVEMENT Part 3 - The six-point scale Self-evaluation for Quality Improvement can be used to evaluate quality against six levels of performance. In the complex context of education, there are many ways in which provision can merit a particular evaluation. We need to bear in mind that awarding levels will always be more of a professional skill than a technical process. However, the following general guidelines should be consistently applied. An evaluation of excellent applies to provision which is a model of its type. Learners experiences and achievements are of a very high quality. An evaluation of excellent represents an outstanding standard of provision which exemplifies very best practice and is worth disseminating beyond the council. It implies these very high levels of performance are sustainable and will be maintained. An evaluation of very good applies to provision characterised by major strengths. There are very few areas for improvement and any that do exist do not significantly diminish learners experiences. While an evaluation of very good represents a high standard of provision, it is a standard that should be achievable by all. It implies that it is fully appropriate to continue to make provision without significant adjustment. However, there is an expectation that the council will take opportunities to improve and strive to raise performance to excellent. An evaluation of good applies to provision characterised by important strengths which, taken together, clearly outweigh any areas for improvement. An evaluation of good represents a standard of provision in which the strengths have a significant positive impact. However, the quality of learners experiences is diminished in some way by aspects in which improvement is required. It implies that the council should seek to improve further the areas of important strength, but take action to address the areas for improvement. An evaluation of adequate applies to provision characterised by strengths which just outweigh weaknesses. An evaluation of adequate indicates that learners have access to a basic level of provision. It represents a standard where the strengths have a positive impact on learners experiences. However, while the weaknesses will not be important enough to have a substantially adverse impact, they will constrain the overall quality of learners experiences. It implies that the council should take action to address areas of weakness while building on its strengths. An evaluation of weak applies to provision which has some strengths, but where there are important weaknesses. In general, an evaluation of weak may be arrived at in a number of circumstances. While there may be some strengths, the important weaknesses will, either individually or collectively, be sufficient to diminish learners experiences in substantial ways. It implies the need for structured and planned action on the part of the council. An evaluation of unsatisfactory applies when there are major weaknesses in provision requiring immediate remedial action. Learners experience is at risk in significant respects. In almost all cases, staff responsible for provision evaluated as unsatisfactory will require support from senior managers in planning and carrying out the necessary actions to effect improvement. This may involve working alongside staff from other departments or agencies in or beyond the council.

3 14_15 Using the six-point scale in evaluation The indicators in QMIE2 are designed to be used in conjunction with the six-point scale described above. The following pages provide examples of the kinds of evidence you should take into account when identifying strengths and weaknesses and assessing the impact of these on learners experience. For Key Areas 2-9, which use quality indicators (QIs), we have also provided illustrations at Level 5 and Level 2. Key Area 1 uses performance indicators (PIs) and similar measures that can provide evidence to inform evaluations against the QIs.

QUALITY MANAGEMENT IN EDUCATION 2 SELF-EVALUATION FOR QUALITY IMPROVEMENT Part 4 Performance and quality indicators Key Area 1. Key performance outcomes No. Performance Indicator Measures WHAT KEY OUTCOMES HAVE WE ACHIEVED? 1.1 Improvements Performance data and measures showing trends over time in performance Overall quality of education provided by individual services and establishments Performance against aims, objectives and targets 1.2 Fulfilment of Financial performance statutory duties Compliance with legislation, and responsiveness to guidance and codes of practice Key Area 2. Impact on service users No. Quality Indicator Themes HOW WELL DO WE MEET THE NEEDS OF OUR STAKEHOLDERS? 2.1 Impact on learners Qualitative and quantitative data that demonstrate the extent to which learners are: included and participating achieving and attaining progressing. The extent to which learners, parents/carers and families report that learners educational experiences enable them to become: successful learners, confident individuals, responsible citizens and effective contributors safe, nurtured, healthy, achieving, active, respected and responsible and included. 2.2 Impact on parents/ Quantitative and qualitative data that demonstrate the carers and families extent to which parents/carers and families are: treated equally and fairly satisfied with the quality of education provided involved and engaged in their children s development and learning. Extent to which parents/carers and families report that they are: treated equally and fairly satisfied with the quality of education provided involved and engaged in their children s development and learning.

4 16_17 Key Area 3. Impact on staff No. Quality Indicator Themes HOW WELL DO WE MEET THE NEEDS OF OUR STAKEHOLDERS? 3.1 Impact on staff Quantitative and qualitative data that demonstrate the extent to which staff: are motivated, confident and valued improve their practice through training and development activities have positive experiences of the quality of central services and external/partner agencies work effectively in teams. Extent to which staff report that they: are motivated, confident and valued improve their practice through training and development activities have positive experiences of the quality of central services and external/partner agencies work effectively in teams.

QUALITY MANAGEMENT IN EDUCATION 2 SELF-EVALUATION FOR QUALITY IMPROVEMENT Key Area 4. Impact on the community No. Quality Indicator Themes HOW WELL DO WE MEET THE NEEDS OF OUR STAKEHOLDERS? 4.1 Impact on the Evaluations of quantitative and qualitative data that local community demonstrate the extent to which the council: engages with and supports organisations in the community contributes to supporting community influence and representation contributes to achieving social justice engages local communities in and contributes to wider developments (e.g. national or international) supports social and economic development. Extent to which the community reports that the council: engages with and supports organisations in the community contributes to supporting community influence and representation contributes to achieving social justice engages local communities in and contributes to wider developments (e.g. national or international) supports social and economic development. 4.2 Impact on the Evaluations of quantitative and qualitative data that wider community demonstrate the extent to which the council: encourages and supports creativity and innovation learns from and adopts leading-edge practice influences wider policy or practice anticipates and responds rapidly and flexibly to change.

4 18_19 Key Area 5. Delivery of education processes No. Quality Indicator Theme HOW GOOD IS OUR DELIVERY OF EDUCATION PROCESSES? 5.1 Delivering education Service delivery services Implementation of the council s policies, strategies and plans Action to meet the needs of children, young people and adults Recognising achievement in the community 5.2 Inclusion, equality Inclusion, equality and fairness and fairness 5.3 Improving the quality Arrangements for quality assurance and improvement of services and Support and challenge establishments Evaluating outcomes, and feedback from learners, participants and other stakeholders Planning for improvement and monitoring progress Reporting progress to stakeholders Key Area 6. Policy development and planning No. Quality Indicator Theme HOW GOOD IS OUR MANAGEMENT? 6.1 Policy review and Range and appropriateness of policies development Coherence with council-wide policy Links to vision, values and aims Managing, evaluating and updating policies 6.2 Participation of learners Involvement in policy development and other stakeholders Communication and consultation Active participation in the work of the service 6.3 Operational planning Developing, implementing and evaluating plans Structure and content of plans Use of management information Joint planning with partner organisations and services Planning for sustainability

QUALITY MANAGEMENT IN EDUCATION 2 SELF-EVALUATION FOR QUALITY IMPROVEMENT Key Area 7. Management and support of staff No. Quality Indicator Theme HOW GOOD IS OUR MANAGEMENT? 7.1 Sufficiency, recruitment Identifying and meeting human resource needs and retention Recruitment, appointment and induction procedures Care and welfare Equality and fairness in recruitment and promotion Recognition 7.2 Deployment and Appropriateness and clarity of remits teamwork Deployment to achieve planned priorities Teamworking Communication and involvement in decision making 7.3 Development and support Processes for staff review and support Training and development Joint training with staff from partner agencies Key Area 8. Partnerships and resources No. Quality Indicator Theme HOW GOOD IS OUR MANAGEMENT? 8.1 Partnership working Clarity of purposes and aims Service level agreements, roles and remits Working across agencies and disciplines Staff roles in partnerships 8.2 Financial management Setting budgets and enterprise in securing funding Range and implementation of financial procedures and controls Processes for collecting, evaluating and communicating financial information Providing Best Value 8.3 Resource management Accommodation Resources and equipment Efficiency and effectiveness in use of resources Health and safety 8.4 Information systems Data collection, storage and retrieval Linkages between, and sharing of information Processes for analysing, evaluating and using information

4 20_21 Key Area 9. Leadership No. Quality Indicator Theme HOW GOOD IS OUR LEADERSHIP? 9.1 Vision, values and aims Appropriateness and coherence with corporate and community vision, values and aims Sharing and sustaining the vision Promotion of positive attitudes to social and cultural diversity 9.2 Leadership and direction Strategic planning and communication Strategic deployment of resources Evaluation of risk 9.3 Developing people Developing leadership capacity and partnerships Building and sustaining relationships Teamwork and partnerships 9.4 Leadership of change Support and challenge and improvement Creativity, innovation and step change Continuous improvement Key Area 10. Capacity for Improvement WHAT IS OUR CAPACITY FOR IMPROVEMENT? This last of the high-level questions requires a global judgement based on evidence and evaluations of all key areas. In answering this question councils should also take into account contextual issues such as impending retirements of senior staff, plans to restructure and significant changes in funding. They should also consider their ability to respond quickly to change and to be creative and innovative in the pursuit of excellence. The council should be able to make a statement with the following components: The council is confident/not confident that the evidence and evaluation to date indicates that: overall improvements have been made to key outcomes and to impacts on stakeholders; leadership and management are effective; and quality improvement arrangements are effective and the council has the capacity to continue improving. The levels of confidence expressed for each component may be different and may include some reservations or caveats, but should lead to an overall statement of confidence in the council s capacity to improve in relation to its education functions. For example, the statement could say, The council is confident that the evidence and evaluation to date indicates that: improvements have been made to achieving almost all key outcomes and, overall, improvements have been made to meet the needs of service users but the attainment of secondary school pupils requires further improvement; leadership and management are currently effective but key posts will become vacant in the near future; and quality improvement arrangements are effective in all areas except youthwork and the council has demonstrated the capacity to continue improving.